Compliance Analyst (Banking), Sr. monitors customer accounts and researches transactions to identify suspicious activity violating current anti-money laundering (AML) regulations defined in the US Bank Secrecy Act (BSA) or other governmental anti-terrorist financing programs. Uses customer data mining and software tools to identify suspicious activity patterns. Being a Compliance Analyst (Banking), Sr. reviews daily Currency Transaction Reports (CTR) and Questionable Activity Reports (QAR), and submits Suspicious Activity Reports (SAR) as appropriate. Ensures adherence to Know your Customer (KYC) protocols. Additionally, Compliance Analyst (Banking), Sr. may lead or participate in investigations of suspicious activity to pursue corrective actions and ensure completion of required filings. Keeps abreast with regulatory changes, risk management best practices, and trending methods used by fraud perpetrators. Delivers compliance training with up-to-date regulatory information and procedures to develop and guide a well-informed staff. Typically requires a bachelor's degree. May have the Certified Anti Money Laundering Specialist (CAMS) certification. Typically reports to a manager. The Compliance Analyst (Banking), Sr. occasionally directed in several aspects of the work. Gaining exposure to some of the complex tasks within the job function. To be a Compliance Analyst (Banking), Sr. typically requires 2 -4 years of related experience. (Copyright 2024 Salary.com)
JOB SUMMARY |
Plans, coordinates and manages audits and third party investigations under the direction of compliance and legal leadership. Assists with the development of corrective actions and monitoring activities to mitigate risk and validate ongoing compliance with government regulatory requirements. Under the direction of the System Director of Corporate Compliance, conducts assigned internal investigations reported though the compliance/ethics line as applicable, to include research and investigation addressing concerns or questions related to any compliance or regulatory requirements under the guidance of the System Director of Corporate Compliance. Provides support to compliance and legal leadership during government investigations, including document indexing, collecting medical record review summaries, research regarding applicable laws and regulatory requirements, collecting and organizing internal policies, procedures/operational processes and maintaining investigation file integrity.
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